”) during the underwriting period to implement the price stabilization operation after being listed on the Taiwan Stock Exchange. In addition, the Company intends to waive the subscription right in accordance
our Cookies page. Save and Close Laws/Regulations × Home > Laws/Regulations > Ministerial Regulations > MRSArchive > MSRA-IA Ministerial Regulation SHARE
areas, namely securities regulation reviewed under 37 IOSCO Objectives and Principles of Securities Regulation, and the clearing and settlement infrastructures reviewed under the Principles for Financial
variations have caused SEC extra time on processing the data for regulatory use. In addition, the current regulation which requires the operator to submit the report in paper form to SEC has incurred an
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be
least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
Governance Network (2014) 7 Section A: Board 1.0 Responsibilities 8 2.0 Leadership and independence 9 3.0 Composition and appointment 11 4.0 Corporate culture 12 5.0 Risk oversight 13 6.0 Remuneration 14 7.0
inspection Has your firm been inspected quality control systems by the audit oversight authority? Yes No If yes, please provide us the latest results of the inspection 4. Audit Experience Have you ever
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and